Head of Compliance - Hedge Fund /Securities Brokerage Business

4 days left

Recruiter
Bo Le Associates Ltd
Location
Hong Kong
Salary
HK$2M plus bonus
Posted
04 Jul 2017
Closes
25 Aug 2017
Sector
Legal
Contract Type
Permanent
Hours
Full-time

• Stable and proven business model

• New business initiatives to work on

• Up to HK$2M p.a. plus bonus

Responsibilities
• Review and update procedure manuals to ensure processes in compliance with regulations and internal policies
• Identify and assess compliance risks of the Hedge Fund & Securities Brokerage businesses
• Review and monitor compliance performance and provide recommendations for improvement
• Act as the contact point with the regulatory authorities and external auditors
• Keep abreast of the latest development of the regulatory rules and environment
• Prepare, update and/or filing of applicable compliance reports/forms/contracts for assigned area(s) of responsibility
• Recommend compliance solutions to support business initiatives the firm launches

Requirements
• Recognized university degree or equivalent
• 10+ years of experience in compliance/ legal related function in HK gained from Securities Brokerage House or Hedge Fund
• Good understanding of SFC regulations in Hong Kong. China/Taiwan exposure a plus
• Capacity to work in a lean team with a hands-on approach
• Ability to challenge the status quo and to present innovative solutions
• Fluency in English, Cantonese and Chinese
• Project Management skills, agility and adaptability, capacity to drive changes in an organization